California v. Ramos
Opinion of the Court
delivered the opinion of the Court.
This case requires us to consider the constitutionality under the Eighth and Fourteenth Amendments of instructing a capital sentencing jury regarding the Governor’s power to commute a sentence of life without possibility of parole. Finding no constitutional defect in the instruction, we reverse the decision of the Supreme Court of California and remand for further proceedings.
I
On the night of June 2, 1979, respondent Marcelino Ramos participated in the robbery of a fast-food restaurant where he was employed as a janitor. As respondent’s codefendant placed a food order, respondent entered the restaurant, went behind the front counter into the work area ostensibly for the purpose of checking his work schedule, and emerged with a gun. Respondent directed the two employees working that night into the restaurant’s walk-in refrigerator and ordered them to face the back wall. Respondent entered and emerged from the refrigerator several times, inquiring at one point about the keys to the restaurant safe. When he entered for the last time, he instructed the two employees to
Respondent was charged with robbery, attempted murder, and first-degree murder. Defense counsel presented no evidence at the guilt phase of respondent’s trial, and the jury returned a verdict of guilt on all counts. Under California law, first-degree murder is punishable by death or life imprisonment without the possibility of parole where an alleged “special circumstance” is found true by the jury at the guilt phase.
“You are instructed that under the State Constitution a Governor is empowered to grant a reprieve, pardon, or*996 commutation of a sentence following conviction of a crime.
“Under this power a Governor may in the future commute or modify a sentence of life imprisonment without possibility of parole to a lesser sentence that would include the possibility of parole.” Tr. 1189-1190.5
The jury returned a verdict of death.
On appeal the Supreme Court of California affirmed respondent’s conviction but reversed the death sentence, concluding that the Briggs Instruction required by Cal. Penal Code Ann. §190.3 (West Supp. 1983) violated the Federal Constitution. 30 Cal. 3d 553, 639 P. 2d 908 (1982). The court found two constitutional flaws in the instruction. First, it invites the jury to consider factors that are foreign to its task of deciding whether the defendant should live or die. According to the State Supreme Court, instead of assuring that this decision rests on “consideration of the character and record of the individual offender and the circumstances of the particular offense,” Woodson v. North Carolina, 428 U. S. 280, 304 (1976), the instruction focuses the jury’s attention on the Governor’s power to render the defendant eligible for parole if the jury does not vote to execute him and injects an entirely speculative element into the capital sentencing determination. Second, the court concluded that because the instruction does not also inform the jury that the Governor possesses the power to commute a death sentence, it leaves the jury with the mistaken belief that the only way to keep the defendant off the streets is to condemn him to death. Accordingly, the court remanded for a new penalty phase.
II
In challenging the constitutionality of the Briggs Instruction, respondent presses upon us the two central arguments
A
The Court, as well as the separate opinions of a majority of the individual Justices, has recognized that the qualitative difference of death from all other punishments requires a cor
It would be erroneous to suggest, however, that the Court has imposed no substantive limitations on the particular factors that a capital sentencing jury may consider in determining whether death is appropriate. In Gregg itself the joint opinion suggested that excessively vague sentencing standards might lead to the arbitrary and capricious sentencing patterns condemned in Furman. 428 U. S., at 195, n. 46.
Beyond these limitations, as noted above, the Court has deferred to the State’s choice of substantive factors relevant to the penalty determination. In our view, the Briggs Instruction does not run afoul of any of these constraints.
B
Addressing respondent’s specific arguments, we find unpersuasive the suggestion that the possible commutation of a life sentence must be held constitutionally irrelevant
The Texas capital sentencing system upheld in Jurek limits capital homicides to intentional and knowing murders committed in five situations. Id., at 268. Once the jury finds the defendant guilty of one of these five categories of murder, the jury must answer three statutory questions.
“It is, of course, not easy to predict future behavior. The fact that such a determination is difficult, however, does not mean that it cannot be made. Indeed, prediction of future criminal conduct is an essential element in many of the decisions rendered throughout our criminal justice system. . . . And any sentencing authority must predict a convicted person’s probable future conduct when it engages in the process of determining what punishment to impose. For those sentenced to prison, these same predictions must be made by parole authorities. The task that a Texas jury must perform in an*1003 swering the statutory question in issue is thus basically no different from the task performed countless times each day throughout the American system of criminal justice. What is essential is that the jury have before it all possible relevant information about the individual defendant whose fate it must determine. Texas law clearly assures that all such evidence will be adduced.” Id., at 274-276 (footnotes omitted).
By bringing to the jury’s attention the possibility that the defendant may be returned to society, the Briggs Instruction invites the jury to assess whether the defendant is someone whose probable future behavior makes it undesirable that he be permitted to return to society. Like the challenged factor in Texas’ statutory scheme, then, the Briggs Instruction focuses the jury on the defendant’s probable future dangerousness.
Closely related to, yet distinct from, respondent’s specula-tiveness argument, is the contention that the Briggs Instruction is constitutionally infirm because it deflects the jury’s focus from its central task. Respondent argues that the commutation instruction diverts the jury from undertaking the kind of individualized sentencing determination that, under Woodson v. North Carolina, 428 U. S., at 304, is “a constitutionally indispensable part of the process of inflicting the penalty of death.”
As we have already noted, supra, at 1003, as a functional matter the Briggs Instruction focuses the jury’s attention on whether this particular defendant is one whose possible return to society is desirable. In this sense, then, the jury’s deliberation is individualized. The instruction invites the jury to predict not so much what some future Governor might do, but more what the defendant himself might do if released into society.
Any contention that injecting this factor into the jury’s deliberations constitutes a departure from the kind of individualized focus required in capital sentencing decisions was
Respondent also relies on Beck v. Alabama, 447 U. S. 625 (1980), as support for his contention that the Briggs Instruction undermines the jury’s responsibility to make an individualized sentencing determination. In Beck the Court held that the jury in a capital case must be permitted to consider a
We are unconvinced that the Briggs Instruction constrains the jury’s sentencing choice in the manner condemned in Beck. Restricting the jury in Beck to the two sentencing alternatives — conviction of a capital offense or acquittal — in essence placed artificial alternatives before the jury. The unavailability of the “third option” thereby created the risk of an unwarranted conviction. By contrast, the Briggs Instruction does not limit the jury to two sentencing choices, neither of which may be appropriate. Instead, it places before the jury an additional element to be considered, along with many other factors, in determining which sentence is appropriate under the circumstances of the defendant’s case.
More to the point, however, is the fundamental difference between the nature of the guilt/innocence determination at issue in Beck and the nature of the life/death choice at the penalty phase. As noted above, the Court in Beck identified the chief vice of Alabama’s failure to provide a lesser included
Finally, we emphasize that informing the jury of the Governor’s power to commute a sentence of life without possibility of parole was merely an accurate statement of a potential sentencing alternative. To describe the sentence as “life imprisonment without possibility of parole” is simply inaccurate when, under state law, the Governor possesses authority to commute that sentence to a lesser sentence that includes the possibility of parole. The Briggs Instruction thus corrects a misconception and supplies the jury with accurate information for its deliberation in selecting an appropriate sentence.
Thus, according to respondent, if the Federal Constitution permits the jury to consider possible commutation of a life sentence, the Federal Constitution requires that the jury also be instructed that a death sentence may be commuted. We find respondent’s argument puzzling.
In short, an instruction disclosing the Governor’s power to commute a death sentence may operate to the defendant’s distinct disadvantage. It is precisely this perception that
Moreover, we are not convinced by respondent’s argument that the Briggs Instruction alone impermissibly impels the jury toward voting for the death sentence. Any aggravating factor presented by the prosecution has this impact. As we concluded in Part II, supra, the State is constitutionally entitled to permit juror consideration of the Governor’s power to commute a life sentence. This information is relevant and factually accurate and was properly before the jury. Moreover, the trial judge’s instructions “did not place particular emphasis on the role of [this factor] in the jury’s ultimate decision.”
In sum, the Briggs Instruction does not violate any of the substantive limitations this Court’s precedents have imposed on the capital sentencing process. It does not preclude individualized sentencing determinations or consideration of mitigating factors, nor does it impermissibly inject an element too speculative for the jury’s deliberation. Finally, its failure to inform the jury also of the Governor’s power to commute a death sentence does not render it constitutionally infirm. Therefore, we defer to the State’s identification of the Governor’s power to commute a life sentence as a substantive factor to be presented for the sentencing jury’s consideration.
Our conclusion is not intended to override the contrary judgment of state legislatures that capital sentencing juries in their States should not be permitted to consider the Governor’s power to commute a sentence.
The judgment of the Supreme Court of California is reversed, and the case is remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
See Cal. Penal Code Ann. § 190.2 (West Supp. 1983). The alleged special circumstance found true in respondent’s case was commission of the murder during the course of a robbery. § 190.2(a)(17)(i).
Respondent offered evidence to show, inter alia, that his adoptive parents had died while he was young, that he then came under the bad influence of his codefendant, that respondent had mild congenital brain damage, a low intelligence quotient, and borderline schizophrenia, that he was under the influence of alcohol and drugs at the time of the offenses, and that he intended only to “graze” the victims when he shot them.
The jury “shall impose a sentence of death if [it] concludes that the aggravating circumstances outweigh the mitigating circumstances” and “shall impose” a sentence of life without possibility of parole if the mitigating circumstances outweigh the aggravating circumstances. Cal. Penal Code Ann. § 190.3 (West Supp. 1983).
Ibid. This instruction, referred to hereinafter as the “Briggs Instruction,” was incorporated into the California Penal Code as a result of a 1978 voter initiative popularly known as the Briggs Initiative.
The trial judge gave the instruction over the objection of respondent on the ground that the instruction was mandated by legislation. Tr. 718.
In dissent Justice Richardson concluded that the Briggs Instruction was harmless and nonprejudicial because it merely informs jurors of information that is a matter of common knowledge. Further, the instruction is relevant because the issue of parole is injected into the sentencing process
The Supreme Court of California also concluded that certain testimony by the defense psychiatrist was inadmissible as a matter of state evidence law. Over defense objection, at the penalty phase the prosecutor had been allowed to elicit on cross-examination of the psychiatrist that respondent was aware of the Governor’s power to commute a life sentence without parole to a lesser sentence that included the possibility of parole. According to the psychiatrist, respondent had indicated that, were he to be released on parole after 10 or 20 years in prison, “he would probably have built up within himself such feelings of anger and frustration that he would attempt to take revenge on anyone involved in the trial, including the district attorney who prosecuted the case, the judge who presided over it, and the jurors who voted to convict him.” 30 Cal. 3d 553, 598, 639 P. 2d 908, 934 (1982) (footnote omitted). The State Supreme Court ruled that the trial court had abused its discretion in admitting this testimony because the prejudice created by admission of the testimony outweighed its probative value. See Cal. Evid. Code Ann. § 352 (West 1966).
Respondent argues that this Court should not reach the constitutional issues raised by the State because the above ruling represents a possible adequate and independent state ground for the State Supreme Court’s decision to reverse the death sentence. We find no bar to reaching the federal questions. The State Supreme Court quite clearly rested its reversal of the death sentence solely on the Federal Constitution. 30 Cal. 3d, at 562, 600, 639 P. 2d, at 912, 936. Moreover, with respect to its ruling on the evidentiary question, the court did not determine whether this error warranted reversal of the death penalty. It held only that the testimony “should not be admitted if the penalty phase is retried.” Id., at 598, n. 22,
In addition, the Supreme Court of California expressly declined to decide whether the Briggs Instruction independently violates any provisions of the State Constitution. 30 Cal. 3d, at 600, n. 24, 639 P. 2d, at 936, n. 24. As with the evidentiary issue, of course, the state court may address this question on remand.
The Supreme Court of California construed the Briggs Instruction as inviting capital sentencing juries to consider the commutation power in its sentencing determination. See id., at 599-600, 639 P. 2d, at 935-936. We view the statute accordingly.
See Eddings v. Oklahoma, 455 U. S. 104, 117-118 (1982) (O’Connor, J., concurring); Beck v. Alabama, 447 U. S. 625, 637-638 (1980) (opinion of Stevens, J., joined by Burger, C. J., and Brennan, Stewart, Blackmun, and Powell, JJ.); Lockett v. Ohio, 438 U. S. 586, 604 (1978) (opinion of Burger, C. J., joined by Stewart, Powell, and Stevens, JJ.); Gardner v. Florida, 430 U. S. 349, 357-358 (1977) (opinion of STEVENS, J., joined by Stewart, and Powell, JJ.); id., at 363-364 (White, J., concurring in judgment); Woodson v. North Carolina, 428 U. S. 280, 305 (1976) (opinion of Stewart, Powell, and Stevens, JJ.).
Proffitt v. Florida, 428 U. S. 242 (1976); Jurek v. Texas, 428 U. S. 262 (1976); Woodson v. North Carolina, supra (plurality opinion); Roberts v. Louisiana, 428 U. S. 325 (1976) (plurality opinion).
Moreover, in approving the sentencing schemes of Georgia, Florida, and Texas, the joint opinions of Justices Stewart, Powell, and Stevens did not substitute their views for those of the state legislatures as to the particular substantive factors chosen to narrow the class of defendants eligible for the death penalty. For example, under the Georgia scheme examined in Gregg, at least 1 of 10 specified aggravating circumstances must be found beyond a reasonable doubt before the jury may consider whether death is the appropriate punishment for the individual defendant. 428 U. S., at 164-165. By contrast, under the Texas scheme approved in Júrele v. Texas, supra, the State attempted to limit the category of defendants upon whom the death sentence may be imposed by narrowing capital homicides to intentional and knowing murders committed in five particular situations. See id., at 268. In upholding the Texas scheme, the joint opinion observed: “While Texas has not adopted a list of statutory aggravating circumstances the existence of which can justify the imposition of the death penalty as have Georgia and Florida, its action in narrowing the categories of murders for which a death sentence may ever be imposed serves much the same purpose.” Id., at 270.
Cf. Godfrey v. Georgia, 446 U. S. 420 (1980) (reversing death sentence that rested on unconstitutionally broad and vague construction of an aggravating circumstance).
“[W]e believe that in capital cases the fundamental respect for humanity underlying the Eighth Amendment . . . requires consideration of the character and record of the individual offender and the circumstances of the particular offense as a constitutionally indispensable part of the process of inflicting the penalty of death.” Woodson, supra, at 304. See also Gregg v. Georgia, 428 U. S., at 189 (quoting Pennsylvania ex rel. Sullivan v. Ashe, 302 U. S. 51, 55 (1937)).
See also Zant v. Stephens, 462 U. S. 862, 879 (1983); id., at 900 (Rehn-QUIST, J., concurring in judgment); Enmund v. Florida, 458 U. S. 782, 798 (1982); id., at 827-828 (O’Connor, J., dissenting); Eddings v. Oklahoma, 455 U. S., at 110-112; id., at 118 (O’Connor, J., concurring); id., at 121-122 (Burger, C. J., dissenting).
See also 30 Cal. 3d, at 596, 639 P. 2d, at 933 (“[The Briggs Instruction] injects into the sentencing calculus an entirely irrelevant factor . . .”); id., at 600, 639 P. 2d, at 935.
The questions are:
“ ‘(1) whether the conduct of the defendant that caused the death of the deceased was committed deliberately and with the reasonable expectation that the death of the deceased or another would result;
“ ‘(2) whether there is a probability that the defendant would commit criminal acts of violence that would constitute a continuing threat to society; and
“ ‘(3) if raised by the evidence, whether the conduct of the defendant in killing the deceased was unreasonable in response to the provocation, if any, by the deceased.’ Art. 37.071(b) (Supp. 1975-1976).” 428 U. S., at 269.
This analogy between the matters raised in the jurors’ minds by the Briggs Instruction and the Texas statutory factor of the defendant’s future dangerousness is no “intellectual sleight of hand.” Post, at 1029 (Blackmun, J., dissenting). To avoid this analogy is to ignore the process of thought that the Briggs Instruction inevitably engenders in the jury’s deliberations. To be sure, the Briggs Instruction by its terms may incline their thoughts to the probability that the current or some future Governor might commute the defendant’s sentence. Nevertheless, whatever the jurors’ thoughts on this probability alone, the inextricably linked thought is whether it is desirable that this defendant be released into society. In evaluating this question, the jury will consider the defendant’s potential for reform and whether his probable future behavior counsels against the desirability of his release into society.
See also ABA Standards for Criminal Justice 18-2.5(c)(i) (2d ed. 1980) (giving as example of legitimate reason for selecting total confinement fact that “[confinement is necessary in order to protect the public from further serious criminal activity by the defendant”).
We also observe that, with respect to the relevance of the information conveyed by the Briggs Instruction, the issue of parole or commutation is
In dissent Justice Marshall argues that if a balanced instruction cannot or should not be given, “the solution is not to permit a misleading instruction, but to prohibit altogether any instruction concerning commutation.” Post, at 1017-1018. This observation is incorrect for at least two reasons. First, as discussed below, see n. 27, infra, we do not suggest that there would be any federal constitutional infirmity in giving an instruction concerning the Governor’s power to commute the death sentence. We note only that such comment is prohibited under state law. Second, the Briggs Instruction simply is not misleading. On the contrary, the instruction gives the jury accurate information in that it corrects a misleading description of a sentencing choice available to the jury. Although, as Justice Richardson noted below, 30 Cal. 3d, at 605, 639 P. 2d, at 938, most jurors may have a general awareness of the availability of commutation and parole, the statutory description of one of the sentencing choices as “life imprisonment without possibility of parole” may generate the misleading
We note further that respondent does not, and indeed could not, contend that the California sentencing scheme violates the directive of Lockett v. Ohio, 438 U. S. 586 (1978). The California statute in question permits the defendant to present any evidence to show that a penalty less than death is appropriate in his case. Cal. Penal Code Ann. § 190.3 (West Supp. 1983).
In addition, we note that there is no assurance that a Texas jury acts on a more particularized and less speculative informational base when it considers the defendant’s future dangerousness than does a California jury. In Estelle v. Smith, 451 U. S. 454 (1981), the Court noted that expert psychiatric testimony about the defendant is not necessary to prove the defendant’s future dangerousness under the Texas scheme.
“[Ujnder the Texas capital sentencing procedure, the inquiry necessary for the jury’s resolution of the future dangerousness issue is in no sense confined to the province of psychiatric experts. . . .
“While in no sense disapproving the use of psychiatric testimony bearing on the issue of future dangerousness, the holding in Jurek was guided by recognition that the inquiry mandated by Texas law does not require resort to medical experts.” Id,., at 472-473.
Consequently, as in the California scheme, a Texas jury’s evaluation of the defendant’s future dangerousness may rest on lay testimony about the defendant’s character and background and the inferences to be drawn therefrom.
“[Sentencing decisions rest on a far-reaching inquiry into countless facts and circumstances and not on the type of proof of particular elements that returning a conviction does.” Zant v. Stephens, 462 U. S., at 902 (Rehnquist, J., concurring in judgment).
Consideration of the commutation power does not undermine the jury’s statutory responsibility to weigh aggravating factors against mitigating factors and impose death only if the former outweigh the latter. The desirability of the defendant’s release into society is simply one matter that enters into the weighing process. Moreover, the fact that the jury is given no specific guidance on how the commutation factor is to figure into
See also ALI, Model Penal Code § 210.6 (Prop. Off. Draft 1962) (providing that, besides aggravating and mitigating factors, the sentencer “shall take into account... any other facts that it deems relevant”). The Model Penal Code further states that the court at the sentencing stage “shall inform the jury of the nature of the sentence of imprisonment that may be imposed, including its implication with respect to possible release upon parole, if the jury verdict is against sentence of death.” Ibid.
Our approval in Gregg v. Georgia of the wide-ranging evidence informing the penalty determination in Georgia is equally appropriate here:
“We think that the Georgia court wisely has chosen not to impose unnecessary restrictions on the evidence that can be offered at such a [presen-tence] hearing and to approve open and far-ranging argument. ... So long as the evidence introduced and the arguments made at the presen-*1010 tence hearing do not prejudice a defendant, it is preferable not to impose restrictions. We think it desirable for the jury to have as much information before it as possible when it makes the sentencing decision.” 428 U. S., at 203-204.
Under Art. V, § 8, of the California Constitution and its implementing statutory sections, Cal. Penal Code Ann. §4800 et seq. (West 1982), the Governor possesses broad authority to reprieve, pardon, or commute sentences, including a death sentence.
Although the state statute containing the Briggs Instruction itself requires instruction only on the Governor’s power to commute a sentence of life without possibility of parole, Cal. Penal Code Ann. § 190.3 (West Supp. 1983), the trial judge in this case preceded this specific instruction with the additional statement that the Governor “is empowered to grant a reprieve, pardon, or commutation of a sentence following conviction of a crime.” Tr. 1189-1190 (emphasis added). This statement is ambiguous and might be construed as advising the jury of the Governor’s power to commute a death sentence, as well as a life sentence. However, at oral argument both the State and respondent argued that the ambiguity in the quoted sentence should not be interpreted as advising the jury of the possible commutation of a death sentence. Tr. of Oral Arg. 10, 18. More significantly, the State Supreme Court did not interpret the instruction as providing full disclosure of the extent of the Governor’s power of commutation. In fact, it affirmatively concluded that the “jury is not informed that a sentence of death may be . . . commuted or modified.” 30 Cal. 3d, at 597, 639 P. 2d, at 933 (emphasis in original). We defer to the State Supreme Court’s finding on this point. See, e. g., Wolfe v. North Carolina, 364 U. S. 177, 196 (1960); Lloyd A. Fry Roofing Co. v. Wood, 344 U. S. 157, 160 (1952).
We observe incidentally that respondent at no time requested that the trial judge also charge the jury regarding the Governor’s power to commute a death sentence.
Based on its supervisory powers, the Supreme Court of California held in Morse that a capital sentencing jury should not be instructed on either the trial judge’s or the Governor’s possible reduction of a death penalty. The court concluded that, by suggesting that some other authority would review the propriety of the jury’s decision to impose death, the instruction tended to reduce the jury’s sense of responsibility in fixing the penalty. 60 Cal. 2d, at 652, 388 P. 2d, at 46.
Given our conclusion in Part II, supra, that the State may constitutionally permit consideration of the Governor’s power to commute a sentence of life imprisonment without possibility of parole, we do not suggest, of course, that the Federal Constitution prohibits an instruction regarding the Governor’s power to commute a death sentence.
The trial judge instructed the jury to “consider all of the evidence and all of the applicable instructions on the law which have been received during any part of the trial of this case” and to consider “any other circumstances which extenuate the gravity of the crime even though it is not a legal excuse for the crime.” Tr. 1188-1189.
Justice MARSHALL’S dissent claims that the Briggs Instruction encourages the jury to impose the death penalty on the basis of an errone
See, e. g., Ga. Code Ann. § 17-8-76 (1982) (prohibiting argument as to possibility of pardon, parole, or clemency).
Many state courts have held it improper for the jury to consider or to be informed — through argument or instruction — of the possibility of commutation, pardon, or parole. The basis of decision in these cases is not always clear — i. e., it often does not appear whether the state court’s decision is based on federal constitutional principles. In many instances, however, the state court’s decision appears to rest on an interpretation of the State’s capital sentencing system and the division of responsibility be
Dissenting Opinion
Even if I accepted the prevailing view that the death penalty may constitutionally be imposed under certain circumstances, I could not agree that a State may tip the balance in favor of death by informing the jury that the defendant may eventually be released if he is not executed. In my view, the Briggs Instruction is unconstitutional for three reasons. It is misleading. It invites speculation and guesswork. And it injects into the capital sentencing process a factor that bears no relation to the nature of the offense or the character of the offender.
I
I continue to adhere to my view that the death penalty is in all circumstances cruel and unusual punishment forbidden by the Eighth and Fourteenth Amendments. See Gregg v. Georgia, 428 U. S. 153, 231 (1976) (Marshall, J., dissenting); Furman v. Georgia, 408 U. S. 238, 358-369 (1972) (Marshall, J., concurring). I would vacate the death sentence on this basis alone. However, even if I could accept the prevailing view that the death penalty may constitutionally be imposed under certain circumstances, I would vacate the death sentence in this case.
H — l
Apart from the permissibility of ever instructing a jury to consider the possibility of commutation, the Briggs Instruction is unconstitutional because it misleads the jury about the scope of the Governor’s clemency power. By upholding that instruction, the majority authorizes “state-sanctioned fraud and deceit in the most serious of all state actions: the taking of a human life.” 30 Cal. 3d 553, 597, n. 21, 639 P. 2d 908, 933, n. 21 (1982). See ibid, (if the instruction were “part of a contractual negotiation, it would arguably constitute a tortious deceit and a fraudulent misrepresentation”).
Presented with this choice, a jury may impose the death sentence to prevent the Governor from exercising his power to commute a life sentence without possibility of parole.
The majority assumes that the issue is whether a “balanced” instruction would cure the defect. Ante, at 1011. It then argues that an instruction about the Governor’s power to commute a death sentence would be seriously prejudicial to the defendant and could not in any event have been
If the Briggs Instruction is indeed misleading, and the majority never denies that it may lead jurors to impose a death sentence because they wrongly assume that such a sentence will ensure that the defendant will not be released, it can hardly be defended on the ground that a balanced instruction would be more prejudicial.
I had thought it was common ground that the capital sentencing process must be as reliable, as rational, and as free of mistakes as is humanly possible. Yet the Court upholds the Briggs Instruction without ever disputing its substantial potential to mislead. The Court thus authorizes the State to “cros[s] the line of neutrality” and encourage death sentences by deceiving the jury. Witherspoon, supra, at 520.
HH HH HH
The Briggs Instruction should be struck down not only because it is misleading, but also because it invites the imposition of the death penalty on the basis of mere speculation. As the majority concedes, ante, at 998, n. 8, the Briggs Instruction invites the jury to consider the possibility that if it does not sentence the defendant to death, he may be released through commutation and subsequent parole. The instruction thus invites the jury to speculate about the possibility of release and to decide whether it wishes to foreclose that possibility by imposing a death sentence. Respondent contends that a State may not invite a jury to impose a death sentence on the basis of its ad hoc speculation about the likelihood of a release.
Instead of directly confronting this contention, the majority denies that the principal effect of the Briggs Instruction is to invite the jury to predict the actions of some future Governor and parole board. It instead characterizes the Briggs Instruction as a mere proxy for a determination of future
The Briggs Instruction simply cannot be reduced to the functional equivalent of the scheme upheld in Jurek. It neither requires nor even suggests that a jury should make a finding concerning the defendant’s future dangerousness, and the jury is provided with no evidence on which to base any such finding.
Individual jury predictions of the possibility of commutation and parole represent no more than “sheer speculation.” Godfrey v. Georgia, 446 U. S. 420, 429 (1980) (plurality opinion). A jury simply has no basis for assessing the likelihood
The predictive inquiry becomes even more hazardous if, as the majority suggests, the jury also considers whether the defendant would pose a threat to society if and when he is released. A jury, in short, would have to assess not only the likelihood that the defendant will be released, but also the likelihood that his release will be a mistake. I fail to see how any jury can be expected to forecast the future character of a particular defendant and the risk that some state authority, armed with contemporaneous information about his character whose contents the jury can only guess at, will misjudge his character and erroneously release him.
Sentencing decisions based on such groundless predictions are clearly arbitrary and capricious. As the Tennessee Supreme Court put it, a death sentence imposed on this basis is the product of “mere guesswork.”
The imposition of death sentences on the basis of sheer speculation about unknowables can only be arbitrary and capricious. Our prior cases have stressed the heightened need for reliability and rationality in the determination of whether an individual should be sentenced to death. Woodson v. North Carolina, 428 U. S. 280, 305 (1976) (plurality opinion); Lockett v. Ohio, supra, at 604; Gardner v. Florida, 430 U. S., at 359. The Briggs Instruction injects a level of unreliability, uncertainty, and arbitrariness “that cannot be tolerated in a capital case.” Beck v. Alabama, 447 U. S. 625, 643 (1980).
IV
Even if the Briggs Instruction did not mislead the jury and call for guesswork, it would be unconstitutional for the independent reason that it introduces an impermissible factor into the capital sentencing process.
The instruction invites juries to impose the death sentence to eliminate the possibility of eventual release through commutation and parole. Yet that possibility bears no relation to the defendant’s character or the nature of the crime, or to any generally accepted justification for the death penalty. Since any factor considered by the jury may be decisive in its decision to sentence the defendant to death, Gardner v. Florida, supra, at 359 (opinion of STEVENS, J.), the jury clearly should not be permitted to consider just any factor. Rather,
In my view, the Constitution forbids the jury to consider any factor which bears no relation to the defendant’s character or the nature of his crime, or which is unrelated to any penological objective that can justify imposition of the death penalty. Our cases establish that a capital sentencing proceeding should focus on the nature of the criminal act and the character of the offender. “[I]n order to minimize the risk that the death penalty would be imposed on a capriciously selected group of offenders, the decision to impose it [must] be guided by standards so that the sentencing authority would focus on the particularized circumstances of the crime and the defendant.” Gregg v. Georgia, supra, at 199 (opinion of Stewart, Powell, and Stevens, JJ.). The Court has thus stressed that the appropriateness of the death penalty should depend on “relevant facets of the character and record of the individual offender.” Woodson v. North Carolina, supra, at 304. Considerations such as the extent of premeditation, the nature of the crime, and any prior criminal activity have been considered relevant to the determination of the appropriate sentence. The requirement that the jury focus on factors such as these is designed to ensure that the punishment will be “tailored to [the defendant’s] personal responsibility and moral guilt.” Enmund v. Florida, 458 U. S. 782, 801 (1982) (emphasis added).
In sharp contrast, the mere possibility of a commutation “is wholly and utterly foreign to”
The possibility of commutation has no relationship to the state purposes that this Court has said can justify the death penalty. Capital punishment simply cannot be justified as necessary to keep criminals off the streets. Whatever might be said concerning retribution and deterrence as justifications for capital punishment, it cannot be seriously defended as necessary to insulate the public from persons likely to commit crimes in the future. Life imprisonment and, if necessary, solitary confinement would fully accomplish the aim of incapacitation. See Gregg v. Georgia, supra, at 236, n. 14 (Marshall, J., dissenting); Furman v. Georgia, supra, at 355-359 (Marshall, J., concurring). That the death penalty cannot be justified by considerations of incapacitation was implicitly acknowledged in Gregg, where the joint opinion of Justices Stewart, Powell, and Stevens relied entirely on retribution and deterrence as possible justifications for the death penalty, 428 U. S., at 183, and mentioned incapacitation only in passing as “[ajnother purpose that has been discussed.” Id., at 183, n. 28.
This conclusion is in no way altered by California’s decision to establish an alternative sentence to death that does not
Finally, the Briggs Instruction impermissibly invites jurors to impose death sentences on the basis of their desire to foreclose a duly authorized review of their judgment of conviction. Although the power to grant clemency is not restricted by standards, it is reasonable to assume that it will at least be exercised when the Governor concludes that “the criminal justice system has unjustly convicted a defendant.” Roberts v. Louisiana, 428 U. S. 325, 350 (1976) (White, J., joined by Burger, C. J., and Blackmun and Rehnquist, JJ., dissenting). Yet the very jury whose judgment of conviction would be the subject of any future application for
V
The conclusion that juries should not be permitted to consider commutation and parole in deciding the appropriate sentence is shared by nearly every jurisdiction which has considered the question. In prior decisions this Court has consistently sought “guidance . . . from the objective evidence of the country’s present judgment” in determining the constitutionality of particular capital sentencing schemes. Coker v. Georgia, 433 U. S. 584, 593 (1977). See, e. g., Solem v. Helm, ante, at 290-292; Enmund, 458 U. S., at 812-816 (O’Connor, J., dissenting); Beck v. Alabama, supra, at 637; Gregg v. Georgia, 428 U. S., at 179-182; Woodson v. North Carolina, 428 U. S., at 294-299. With
The propriety of allowing a sentencing jury to consider the power of a Governor to commute a sentence or of a parole board to grant parole has been considered in 28 jurisdictions in addition to California.
I would have thought that this impressive consensus would “weigh heavily in the balance” in determining the constitutionality of the Briggs Instruction. Enmund v. Florida, supra, at 797. The majority breezily dismisses that consensus with the terse statement that “States are free to provide
The majority’s approach is inconsistent with the compelling reasons for according “due regard,” Coker v. Georgia, 433 U. S., at 592, to the contemporary judgments of other jurisdictions. This Court has stressed that the “[Eighth] Amendment must draw its meaning from the evolving standards of decency that mark the progress of a maturing society,” Trop v. Dulles, 356 U. S. 86, 101 (1958) (plurality opinion), and that “[cjentral to the application of the Amendment is a determination of contemporary standards regarding the infliction of punishment.” Woodson v. North Carolina, 428 U. S., at 288 (opinion of Stewart, Powell, and Stevens, JJ.). Moreover, unless this Court’s judgment is “informed by objective factors to the maximum possible extent,” its decisions may reflect “merely the subjective views of individual Justices.” Coker, supra, at 592 (plurality opinion).
< HH
Whatever interest a State may have in imposing the death penalty, there is no justification for a misleading instruction obviously calculated to increase the likelihood of a death sentence by inviting the jury to speculate about the possibility that the defendant will eventually be released if he is not executed. I would vacate respondent’s death sentence.
State courts have recognized that juries will compensate for the possibility of future clemency by imposing harsher sentences. See, e. g., Farris v. State, 535 S. W. 2d 608, 614 (Tenn. 1976); Smith v. State, 317 A. 2d 20, 25-26 (Del. 1974); State v. White, 27 N. J. 158, 177-178, 142 A. 2d 65, 76 (1958).
In a footnote the majority notes that the respondent did not request a jury charge regarding the Governor’s power to commute a death sentence. Ante, at 1011, n. 25. It makes nothing of this fact, however, for reasons that are plain: the California Supreme Court did not find that respondent had waived any objection to the misleading nature of the Briggs Instruction, and, in any event, such an instruction was forbidden by State law.
For some of the reasons articulated by the majority, ante, at 1011, the Constitution would presumably forbid instructing a jury in a capital sentencing proceeding to consider the Governor’s powers to commute a death sentence. See generally Farris v. State, supra, at 614 (noting that such an instruction “tends to breed irresponsibility on the part of jurors premised upon the proposition that corrective action can be taken by others at a later date”); State v. Jones, 296 N. C. 495, 501, 251 S. E. 2d 425, 429 (1979) (jury’s sense of responsibility will be reduced by reliance on executive review). The majority suggests that a defendant is free to correct the misleading impression created by the Briggs Instruction by informing jurors about the Governor’s power to commute death sentences. Ante, at 1004-1005, n. 19. This suggestion is anomalous indeed, since the majority itself has concluded that jurors so informed will be inclined “to approach their sentencing decision with less appreciation for the gravity of their choice and for the moral responsibility reposed in them as sentencers.” Ante, at 1011. I cannot agree that a State may force a defendant to choose between being sentenced by a jury which is misinformed and one which is unlikely to view its task with the requisite sense of responsibility.
The Briggs Instruction merely invites the jury to speculate about the likelihood of future release; it says nothing about whether there is a likelihood of future criminal activity in the event of such release. A jury may decide to impose the death penalty to prevent a defendant’s release simply because it has concluded that the defendant does not “deserve” to reenter society, and not because of any concern about his dangerousness. Jurek says nothing about the permissibility of imposing a death sentence on this basis.
In addition, although a jury presented with the Briggs Instruction might choose to take into account future dangerousness, this in no way makes the instruction the functional equivalent of the Texas scheme. In upholding the Texas scheme this Court stressed that the Texas law assured that “all possible relevant information” is presented to the jury. 428 U. S., at 276. Under the Briggs Instruction not only is the jury not required to make any finding concerning the defendant’s future dangerousness, but also there is no requirement that any evidence of future dangerousness be introduced. Indeed, with rare exceptions such evidence is inadmissible under California law. See People v. Murtishaw, 29 Cal. 3d 733, 767-775, 631 P. 2d 446, 468-471 (1981), cert. denied, 455 U. S. 922 (1982).
Farris v. State, 535 S. W. 2d, at 613-614, quoting Graham v. State, 304 S. W. 2d 622, 624 (1957). Accord, State v. Leland, 190 Ore. 598, 623, 227 P. 2d 785, 796 (1951) (“purely speculative”); Jones v. Commonwealth, 194 Va. 273, 279, 72 S. E. 2d 693, 697 (1952) (results in punishment based on “speculative elements”); State v. Lindsey, 404 So. 2d 466, 487 (La. 1981) (“unquantiñable factor”).
Farris v. State, supra, at 614.
State v. Lindsey, supra, at 486.
People v. Walker, 91 Ill. 2d 502, 515, 440 N. E. 2d 83, 89 (1982).
Jurek v. Texas, 428 U. S. 262 (1976), does not establish that the goal of incapacitation may justify the death penalty. This question was not addressed in Jurek. The petitioner in Jurek did not attack the Texas capital sentencing scheme on this ground, but rather contended that the scheme would not prevent the arbitrary and capricious infliction of the death penalty. The Court rejected this attack on the procedures prescribed by the Texas scheme, id., at 268-276 (opinion of Stewart, Powell, and Stevens, JJ.); id., at 278-279 (White, J., joined by Burger, C. J., and Rehnquist, J., concurring in judgment), but did not decide the substantive question of whether a prediction of future dangerousness is a proper criterion for determining whether a defendant is to live or die.
It matters not that the jury in California cannot actually eliminate the possibility of commutation because a death sentence may be commuted as well. The Briggs Instruction omits any mention of this fact, and, as the majority acknowledges, ante, at 1011-1012, there exist compelling reasons why a defendant would not wish to and should not be forced to bring it to the jury’s attention. See n. 3, supra.
State courts have consistently held that juries may not be permitted to circumvent the actions of other branches of government through the preemptive imposition of the death penalty. See, e. g., Murray v. State, 359 So. 2d 1178 (Ala. Crim. App. 1978) (consideration of commutation subverts jury’s properly assigned role); Andrews v. State, 251 Ark. 279, 290, 472 S. W. 2d 86, 92 (1971) (consideration of commutation takes jury “far afield from its proper purpose and prerogative”); Broyles v. Commonwealth, 267 S. W. 2d 73, 76 (Ky. 1954) (when jury anticipates acts of executive branch it “circumvent[s] . . . and infringes upon [their] prerogatives”); State v. Lindsey, 404 So. 2d, at 486-487 (jury would improperly pre-empt the Governor’s duly authorized power); Jones v. Commonwealth, 194 Va. 273, 279, 72 S. E. 2d 693, 697 (1952).
California is the only State which has a statute requiring that the jury be instructed to consider the possibility of commutation. In other jurisdictions, the issue has generally arisen either because the jury inquired about parole or commutation or because the defendant contended that the prosecution improperly argued the issue to the jury.
Most of these decisions concern jury sentencing in capital cases, although some concern noncapital cases. While some decisions have found the error harmless, in none of these cases did a court find a jury instruction concerning parole or commutation to be harmless. See, e. g., Grady v. State, 391 So. 2d 1095 (Ala. Crim. App. 1980) (noncapital); Westbrook v. State, 265 Ark. 736, 580 S. W. 2d 702 (1979); Jones v. State, 146 Colo. 40, 360 P. 2d 686 (1961); Smith v. State, 317 A. 2d 20 (Del. 1974); Paramore v. State, 229 So. 2d 855 (Fla. 1969) (prosecutor argument improper but not reversible error), vacated on other grounds, 408 U. S. 935 (1972); Gilreath v. State, 247 Ga. 814, 279 S. E. 2d 650 (1981), cert. denied, 456 U. S. 984 (1982); People v. Szabo, 94 Ill. 2d 327, 447 N. E. 2d 193 (1983); Farmer v. Commonwealth, 450 S. W. 2d 494 (Ky. 1970); State v. Brown, 414 So. 2d 689 (La. 1982); Poole v. State, 295 Md. 167, 453 A. 2d 1218 (1983); State v. Thomas, 625 S. W. 2d 115 (Mo. 1981); Grandsinger v. State, 161 Neb. 419, 73 N. W. 2d 632 (1955) (prosecutorial argument improper but not reversible error), cert. denied, 352 U. S. 880 (1956); Summers v. State, 86 Nev. 210, 213, 467 P. 2d 98, 100 (1970) (reaffirming Serrano v. State, 86 Nev. 676, 447 P. 2d 497 (1968), which instructed jury to assume that life without parole means exactly that); State v. Conklin, 54 N. J. 540, 258 A. 2d 1 (1969); State v. Jones, 296 N. C. 495, 251 S. E. 2d 425 (1979); McKee v. State, 576 P. 2d 302 (Okla. Crim. App. 1978) (noncapital); State v. Leland, 190 Ore. 598, 227 P. 2d 785 (1951), aff’d, 343 U. S. 790 (1952); Commonwealth v. Aljoe, 420 Pa. 198, 216 A. 2d 50 (1966); State v. Goolsby, 275 S. C. 110, 268 S. E. 2d 31, cert. denied, 449 U. S. 1037 (1980); Farris v.
Massa v. State, 37 Ohio App. 532, 538-539, 175 N. E. 219, 221-222 (1930); State v. Jackson, 100 Ariz. 91, 412 P. 2d 36 (1966).
Brewer v. State, 275 Ind. 338, 417 N. E. 2d 889 (1981).
In 1955, for instance, the Georgia Legislature overruled prior decisions to the contrary by enacting a statute forbidding any jury argument concerning commutation or parole. Ga. Code Ann. § 27-2206 (1972). See Strickland v. State, 209 Ga. 65, 70 S. E. 2d 710 (1952) (cases discussed therein). In 1958 the New Jersey Supreme Court reversed a line of decisions which had approved of jury consideration of commutation and parole. State v. White, 27 N. J. 158, 142 A. 2d 65 (1958). And in 1976 the Tennessee Supreme Court invalidated a statute that required juries to be instructed about parole in felony cases. Farris v. State, supra. See also Andrews v. State, 251 Ark. 279, 472 S. W. 2d 86 (1971) (disapproving earlier decisions permitting judge, when asked by jurors, to inform them of possibility of reduction of sentence).
Dissenting Opinion
dissenting.
I join Parts II through V of Justice Marshall’s opinion in dissent.
I had understood the issue in this case to be whether a State constitutionally may instruct a jury about the Governor’s power to commute a sentence of life without parole. That issue involves jury consideration of the probability of
The issue actually presented is an important one, and there may be arguments supportive of the instruction. The Court, however, chooses to present none. Instead, it approves the Briggs Instruction by substituting an intellectual sleight of hand for legal analysis. This kind of appellate review compounds the original unfairness of the instruction itself, and thereby does the rule of law disservice. I dissent.
Dissenting Opinion
dissenting.
No rule of law required the Court to hear this case. We granted certiorari only because at least four Members of the Court determined — as a matter of discretion — that review of the constitutionality of the so-called Briggs Instruction would represent a wise use of the Court’s scarce resources.
When certiorari was granted in this case, the Court had been informed by the respondent that the Briggs Instruction is unique: “Only California requires that juries be instructed selectively on the Governor’s power to commute life without parole sentences.” Further, the Court had been informed, accurately, that the overwhelming number of jurisdictions condemn any comment whatsoever in a capital case on the Governor’s power to commute. That statement was followed by a half-page list of citations to state-court decisions. Brief in Opposition 6-7. See ante, at 1026-1027 (Justice Marshall, dissenting). These facts shed an illuminating light on the Court’s perception of how its discretion should be exercised.
No matter how trivial the impact of the instruction may be, it is fundamentally wrong for the presiding judge at the trial — who should personify the evenhanded administration of justice — to tell the jury, indirectly to be sure, that doubt concerning the proper penalty should be resolved in favor of the most certain method of preventing the defendant from ever walking the streets again.
The Court concludes its opinion by solemnly noting that we “sit as judges, not as legislators, and the wisdom of the decision to permit juror consideration of possible commutation is
I repeat, no rule of law commanded the Court to grant cer-tiorari. No other State would have been required to follow the California precedent if it had been permitted to stand. Nothing more than an interest in facilitating the imposition of the death penalty in California justified this Court’s exercise of its discretion to review the judgment of the California Supreme Court. That interest, in my opinion, is not sufficient to warrant this Court’s review of the validity of a jury instruction when the wisdom of giving that instruction is plainly a matter that is best left to the States.
For the reasons stated in Parts II to V of Justice Marshall’s opinion, I disagree with the Court’s decision on the merits. But even if the Court were correct on the merits, I would still firmly disagree with its decision to grant certio-rari. I therefore respectfully dissent.
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